Dodd-Frank Blog
Issuer Requirements for Crowdfunding Under the JOBS Act
Broker-Dealer, Public Companies and Securities, Uncategorized The JOBS Act takes the unprecedented step of permitting crowdfunding. The statute permits, subject to SEC rulemaking, the ability to offer and sell securities to numerous people that do not have to qualify as accredited investors without registration under the Securities Act. Entrepreneurs seriously considering crowdfunding will need to carefully think through the implications: The [...] Read more →
JOBS Act Effect on Private Equity and Hedge Funds
Private Equity Some publications have predicted widespread changes in the way hedge funds and private equity funds are marketed. The speculation is based on the JOBS Act elimination of... Read more →
Some Ruminations on the JOBS Act’s Regulation D Provisions
Broker-Dealer, Private Equity, Public Companies and Securities The Dodd-Frank Act was overarching, cumbersome and, from its inception, has created much ongoing regulatory uncertainty. While there are some open issues raised by the JOBS Act,... Read more →
Winning and Losing Provisions of the JOBS Act
Broker-Dealer, Private Equity, Public Companies and Securities The House of Representatives has passed the Senate version of the Jumpstart Our Business Startups Act, or JOBS Act, and President Obama is expected to sign the legislation. ... Read more →
JOBS Act on the Way
Banking, Broker-Dealer, Private Equity, Public Companies and Securities The House of Representatives has passed the Senate version of the Jumpstart Our Business Startups Act ,or JOBS Act, and President Obama is expected to sign the legislation. Some... Read more →
OECD Issues Due Diligence Guidance for Responsible Supply Chains—Gold
Public Companies and Securities The OECD has issued a “Supplement on Gold” which forms an integral part of the OECD Due Diligence Guidance for Minerals from Conflict-Affected and High-Risk Areas. ... Read more →
ISS’ Peer Groups Begin to Spur Complaints
Executive Compensation One of the changes to ISS’ methodology on evaluating executive compensation this year related to the construction of peer groups. The ISS peer group is generally comprised of... Read more →
FDIC Approves Two Notices of Proposed Rulemaking
Banking The FDIC Board has approved two Notices of Proposed Rulemaking. The first would implement section 201(c)(16) of the Dodd-Frank Act, which permits the FDIC as receiver for a... Read more →
CFPB Sharing Complaints With FTC
Banking, Consumer Protection The Dodd-Frank Act requires the CFPB to share consumer complaint information with the Federal Trade Commission, or FTC, and other state and federal agencies. Last August, the... Read more →